Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David Jaffit, Trustee for The Abby Tmst Case No. 99-01582 Names of Respondents Vincent Albanese Morgan Taylor f/k/a European Community Capital, Ltd. REPRESENTATION OF PARTIES For David Jaffit, Trustee for the Abby Trust ("Jaffrt") hereinafter referred to as "Claimant": David M. Garvin, Esq., Miami, Florida. For Vincent Albanese ("Albanes

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark Florman Case No. 99-01581 Names of Respondents Salomon Smith Barney, Inc. Gary S. Vogt REPRESENTATION OF PARTIES Claimant appeared pro se. For Respondents: Etta M. Gumbs, Esq., Salomon Smith Barney, Inc., Office of the General Counsel, New York, NY. CASE INFORMATION Statement of Claim filed on or about April 5, 1999. Claimant signed the

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sid Kotha, (Claimant) vs. Discover Brokerage, (Respondent). Case Number: 99-01579 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Sid Kotha, hereinafter referred to as "Claimant": William S. Shepherd, Esq., William S. Shepherd & Associates, PC, Houston, Texas. Respondent, Discover Brokerage, hereinafter referred to as "Respondent": Robert T. Sullwood, Esq., Sullwo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01578 First Institutional Securities, LLC f claimant vs. Richard Policastro, respondent. ATTORNEYS: Claimant, First Institutional Securities, LLC ("claimant"), appeared through its General Counsel Robert M. Axelrod, Esq., West Paterson, NJ. Respondent, Richard Policastro ("respondent"), appeared Pro Se., Westfield, NJ. DATE FILED: 04/05/99 CASE SUM

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-01577 Luis Ceuedese and Ana Ceuedese, claimants vs. Pasquale Guadagno and M.S. Farrell & Co., Inc., respondents. ATTORNEYS: Claimants, Luis Ceuedese and Ana Ceuedese ("Claimants"), appeared Pro Se., Brooklyn, NY. For Respondent, M.S. Farrell & Co. Inc. ("M.S. Farrell"), Isaac M. Zucker, Esq. of M.S, Farrell & Co. Inc., New York, NY. For Respondent, Pasqual

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-01576 Henry A. Uhl, claimant vs. Joe Williams, respondent. ATTORNEYS: Claimant, Henry Uhl, ("Claimant"), appeared Pro Se., Calhoun, GA. Respondent, Joe Williams, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 5, 1999 " CASE SUMMARY: Claimant alleged that due to Respondent's negligence and omission of facts, he was not informed about account related mar

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01575 James R. Andreoni, claimant vs. Everen Securities, Inc. & Shamus Schubert, respondents. ATTORNEYS: Claimant, James R. Andreoni ("Claimant"), appeared Pro Se., Rockford, IL. For Respondents Everen Securities, Inc. & Shamus Schubert (Collectively "Respondents"), Bruce Lewitas, Esq. of First Union Securities, Inc. DATE FILED: April 5, 1999 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leerink Swann & Company, Claimant vs. Paul Sheldon, Respondent Case Number: 99-01570 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Leerink Swann & Company, hereinafter referred to as "Claimant": Susan Drogin, Esq., Applegate, Valauskas, Rosen & Bernstein, Boston, Massachusetts Respondent, Paul Sheldon, hereinafter referred to as "Respondent": Paul Boy

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between DU Direct, Inc., n/k/a CFSB Direct, Inc. and 00-03456 Southfield, Michigan Martin C. Nwosu Blessing B. Nwosu REPRESENTATION OF PARTIES DLJ Direct, Inc., n/k/a CFSB Direct, Inc. ("Claimant") was represented by Caroline K. Hall, Esq., and Matthew D. Parrott, Esq., Rosenman & Colin, LLP. Respondent Martin C. Nwosu did not appear. Respondent Blessing B. Nwosu did no

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Olde Discount Corporation, (Claimant) vs. Nicholas Gatanas, (Respondent) Case Number: 99-01568 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Olde Discount Corporation, hereinafter referred to as "Claimant": Michael P. Knittel, Esq., Staff Attorney, Olde Discount Corporation, Detroit, MI. Respondent, Nicholas Gatanas, hereinafter referred to as "Responden